Barclays PLC 6-K, filed Jun 2, 2021
Barclays PLC (BCS)
6-K
2021-06-02
For: 2021-06-02
View Original
Added on
April 11, 2026
About this 6-K
Barclays PLC filed this 6-K on June 2, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13A-16 OR 15D-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
June 2,
2021
Barclays PLC
(Name
of Registrant)
1 Churchill Place
London E14 5HP
England
(Address
of Principal Executive Office)
Indicate
by check mark whether the registrant files or will file annual
reports
under
cover of Form 20-F or Form 40-F.
Form
20-F x Form 40-F
Indicate
by check mark whether the registrant by furnishing the
information
contained
in this Form is also thereby furnishing the information to
the
Commission
pursuant to Rule 12g3-2(b) under the Securities Exchange Act of
1934.
Yes No
x
If
"Yes" is marked, indicate below the file number assigned to the
registrant
in
connection with Rule 12g3-2(b):
This
Report on Form 6-K is filed by Barclays PLC.
This
Report comprises:
Information
given to The London Stock Exchange and furnished pursuant
to
General
Instruction B to the General Instructions to Form 6-K.
EXHIBIT
INDEX
FOR BATCHES:
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Exhibit
No. 1
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Total Voting Rights dated 04 May 2021
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Exhibit
No. 2
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Publication of Suppl.Prospcts dated 04 May 2021
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Exhibit
No. 3
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AGM Statement dated 05 May 2021
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Exhibit
No. 4
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New Articles of Association dated 05 May 2021
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Exhibit
No. 5
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Holding(s) in Company dated 07 May 2021
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Exhibit
No. 6
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Publication of Information Memorandum dated 10 May
2021
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Exhibit
No. 7
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Director/PDMR Shareholding dated 10 May 2021
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Exhibit
No. 8
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Director/PDMR Shareholding dated 11 May 2021
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Exhibit
No. 9
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Publication of Final Terms dated 13 May 2021
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Exhibit
No. 10
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Holding(s) in Company dated 17 May 2021
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Exhibit
No. 11
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Publication of Pricing Supplements dated 21 May 2021
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SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf
by the undersigned, thereunto duly authorized.
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BARCLAYS
PLC
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(Registrant)
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Date:
June 2, 2021
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By: /s/
Karen Rowe
--------------------------------
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Karen
Rowe
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Assistant
Secretary
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Exhibit
No. 1
4 May
2021
Barclays PLC
Total Voting Rights
In
accordance with the Financial Conduct Authority's (FCA) Disclosure
Guidance and Transparency Rule 5.6.1R, Barclays PLC notifies the
market that as of 30 April 2021, Barclays PLC's issued share
capital consists of 16,993,429,021 Ordinary shares with voting
rights.
There
are no Ordinary shares held in Treasury.
The
above figure (16,993,429,021) may be used by shareholders (and
others with notification obligations) as the denominator for the
calculation by which they will determine if they are required to
notify their interest in, or a change to their interest in,
Barclays PLC under the FCA's Disclosure Guidance and Transparency
Rules.
- Ends -
For
further information, please contact:
|
Investor Relations
|
Media Relations
|
|
Chris
Manners
|
Tom
Hoskin
|
|
+44
(0)20 7773 2136
|
+44
(0)20 7116 4755
|
|
|
|
Exhibit
No. 2
Publication of Base Prospectus Supplement
The following base prospectus supplement ("Prospectus
Supplement") has been approved
by the Financial Conduct Authority and the International Securities
Market and is available for viewing:
Prospectus Supplement No. 1 dated 4 May 2021 to the Base Prospectus
dated 11 March 2021 for the Barclays PLC £60,000,000,000 Debt
Issuance Programme ("Base
Prospectus").
Please read the disclaimer below "Disclaimer - Intended Addressees"
before attempting to access this service, as your right to do so is
conditional upon complying with the requirements set out
below.
To view the full document, please paste the following URL into the
address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/5162X_1-2021-5-4.pdf
A copy of the above document has been submitted to the National
Storage Mechanism and will shortly be available for inspection
at: https://data.fca.org.uk/#/nsm/nationalstoragemechanism
For further information, please contact:
Barclays Treasury
1 Churchill Place
Canary Wharf
London E14 5HP
DISCLAIMER - INTENDED ADDRESSEES
IMPORTANT: You must read the following
before continuing: The
following applies to the Prospectus Supplement available by
clicking on the link above, and you are therefore advised to read
this carefully before reading, accessing or making any other use of
the Prospectus Supplement. In accessing the Prospectus Supplement,
you agree to be bound by the following terms and conditions,
including any modifications to them, any time you receive any
information from us as a result of such access.
THE PROSPECTUS SUPPLEMENT MAY NOT BE FORWARDED OR DISTRIBUTED OTHER
THAN AS PROVIDED BELOW AND MAY NOT BE REPRODUCED IN ANY MANNER
WHATSOEVER. THE PROSPECTUS SUPPLEMENT MAY ONLY BE DISTRIBUTED
OUTSIDE THE UNITED STATES TO PERSONS THAT ARE NOT U.S. PERSONS AS
DEFINED IN, AND IN RELIANCE ON, REGULATION S UNDER THE U.S.
SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES
ACT") OR WITHIN THE UNITED
STATES TO QIBs (AS DEFINED BELOW) IN ACCORDANCE WITH RULE 144A
UNDER THE SECURITIES ACT ("RULE 144A"). ANY FORWARDING, DISTRIBUTION OR REPRODUCTION
OF THE PROSPECTUS SUPPLEMENT IN WHOLE OR IN PART IS PROHIBITED.
FAILURE TO COMPLY WITH THIS NOTICE MAY RESULT IN A VIOLATION OF THE
SECURITIES ACT OR THE APPLICABLE LAWS OF OTHER
JURISDICTIONS.
NOTHING IN THIS ELECTRONIC PUBLICATION CONSTITUTES AN OFFER OF
SECURITIES FOR SALE IN ANY JURISDICTION. ANY NOTES ISSUED OR TO BE
ISSUED PURSUANT TO THE BASE PROSPECTUS AND THE PROSPECTUS
SUPPLEMENT HAVE NOT BEEN, AND WILL NOT BE, REGISTERED UNDER THE
SECURITIES ACT OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED
STATES OR OTHER JURISDICTION. ANY NOTES ISSUED OR TO BE ISSUED
PURSUANT TO THE BASE PROSPECTUS AND THE PROSPECTUS SUPPLEMENT MAY
NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT (1)
IN ACCORDANCE WITH RULE 144A UNDER THE SECURITIES ACT TO PERSONS
REASONABLY BELIEVED TO BE QUALIFIED INSTITUTIONAL BUYERS (EACH A
"QIB") WITHIN THE MEANING OF RULE 144A OR (2) IN AN
OFFSHORE TRANSACTION TO A PERSON THAT IS NOT A U.S. PERSON IN
ACCORDANCE WITH RULE 903 OR RULE 904 OF REGULATION S UNDER THE
SECURITIES ACT.
Please note that the information contained in the Base Prospectus
and the Prospectus Supplement may be addressed to and/or targeted
at persons who are residents of particular countries (specified in
the Base Prospectus) only and is not intended for use and should
not be relied upon by any person outside these countries and/or to
whom the offer contained in the Base Prospectus is not addressed.
Prior to relying on the information contained in the Base
Prospectus and the Prospectus Supplement you must ascertain from
the Base Prospectus whether or not you are part of the intended
addressees of the information contained therein.
Confirmation of your Representation: In order to be eligible to view the
Prospectus Supplement or make an investment decision with respect
to any Notes issued or to be issued pursuant to the Base Prospectus
and the Prospectus Supplement, you must be (i) a person other than
a U.S. person (within the meaning of Regulation S under the
Securities Act); or (ii) a QIB that is acquiring the securities for
its own account or for the account of another QIB. By accessing the
Prospectus Supplement, you shall be deemed to have represented that
you and any customers you represent are not U.S. persons (as
defined in Regulation S to the Securities Act) or that you are a
QIB, and that you consent to delivery of the Prospectus Supplement
and any supplements thereto via electronic
publication.
You are reminded that the Prospectus Supplement has been made
available to you on the basis that you are a person into whose
possession the Prospectus Supplement may be lawfully delivered in
accordance with the laws of the jurisdiction in which you are
located and you may not, nor are you authorised to, deliver the
Prospectus Supplement to any other person.
The Prospectus Supplement does not constitute, and may not be used
in connection with, an offer or solicitation in any place where
offers or solicitations are not permitted by law. If a jurisdiction
requires that the offering be made by a licensed broker or dealer
and the underwriters or any affiliate of the underwriters is a
licensed broker or dealer in that jurisdiction, the offering shall
be deemed to be made by the underwriters or such affiliate on
behalf of the issuer in such jurisdiction. Under no circumstances
shall the Prospectus Supplement constitute an offer to sell, or the
solicitation of an offer to buy, nor shall there be any sale of any
Notes issued or to be issued pursuant to the Base Prospectus and
the Prospectus Supplement, in any jurisdiction in which such offer,
solicitation or sale would be unlawful.
The Prospectus Supplement has been made available to you in an
electronic form. You are reminded that documents transmitted via
this medium may be altered or changed during the process of
electronic transmission and consequently none of the issuer, its
advisers nor any person who controls any of them nor any director,
officer, employee nor agent of it or affiliate of any such person
accepts any liability or responsibility whatsoever in respect of
any difference between the Prospectus Supplement made available to
you in electronic format and the hard copy version available to you
on request from the issuer.
Your right to access this service is conditional upon complying
with the above requirement.
Exhibit
No. 3
5 May 2021
Barclays PLC
AGM Statements
Chairman's 2021 AGM statement
Good morning. This is my second Annual General Meeting and I
can tell you that I am as disappointed as you are that we are not
able to meet in person. Whereas last year we had less time to
re-plan, this year we have been able to set things up so that we
have a so-called hybrid annual general meeting, with all of the
Board in attendance - some here in person - and shareholders able
to join remotely, submit live questions as well as questions in
advance and vote in real time using the online
platform.
We hope that the successful medical fightback against Covid
continues and that we are able to meet in person next
year.
You will hear shortly from Jes, who is going to cover in some
detail the Barclays response to the pandemic. He will talk about
how we have sought to help customers and clients respond to the
economic situation into which we were all thrown early last year.
He will also describe the resilience of the bank, financially and
operationally, and the way in which we have navigated the crisis so
as to be able to post reasonable results for 2020. We are
also starting to look beyond the crisis and Jes will talk about the
four or five priority investment areas for the future.
We are very pleased to have ended the year with a core capital
ratio of over 15% as well as being able to start paying dividends
again. We have completed our £700m buyback and, as you will
have seen from last Friday's announcement, 2021 has started well
with every division reporting a return on tangible equity in double
digits. There is still much uncertainty but it is heartening to see
both good results and the benefits of the group's diversified
strategy paying off.
I will not duplicate anymore with Jes' comments, but I would like
to cover one topic which is certainly on Jes' mind, and that is to
thank the 85,000 colleagues at Barclays who have stood together and
performed so resiliently over the last year. This has been a tough
time for many, often personally, and we take off our hats to all of
them, whether they have been coming into a branch or office or
working from home. A big thank you.
Before handing over to Jes, can I touch on some of the bigger
societal matters which concern the bank and its people, perhaps
more profoundly than is sometimes understood.
The bank has reset its purpose this year to "We deploy finance
responsibly to support people and businesses, acting with empathy
and integrity, championing innovation and sustainability, for the
common good and the long term." Purpose statements are cheap.
What is harder to deliver is to make sure that one really thinks
about purpose before taking decisions, large or small. We are
now on a very open journey internally to bring purpose to
life. We will be helped by the fact that the fantastic group
of people we work with naturally get our purpose. The job of the
management and the Board is to make sure that the organisation
facilitates and accelerates this journey and that shareholders
understand what we are doing, including the relevant short term
challenges and costs. Over time, we are totally convinced that
there is no clash between purpose and taking into account the
interests of stakeholders, on the one hand, and the generation of
long-term value, on the other.
Let me take the environment. A year ago we recognised that the bank
was not in a very good place here and we committed to aligning our
financing portfolio to the goals of the Paris Agreement, with an
ambition to becoming net zero by 2050, with which I'm sure most of
you are familiar. You provided overwhelming support for this when
voting in favour of the resolution we proposed at last year's
AGM. We know that we have to do more and go further, in two
respects. First we have to deliver - extend our approach to other
sectors, collect more data and report the outcomes as we reduce the
impact of our financing activity on the planet, whether in total
carbon emissions or carbon efficiency. Secondly, we need to lift
the bar higher with some regularity. With that in mind, I can tell
you now that we plan to come back to shareholders next year with a
so-called Say on Climate advisory vote on our approach and progress
including additional targets and sectors, and updated policies for
important parts of the fossil fuel landscape. We are aware
that there are a range of views on the approach to Say on Climate
advisory votes, so we will develop our approach on the back of
proactive consultation with shareholders and other stakeholders
later on this year. We know that not everybody believes we are
committed to delivering on this, so we need to make sure that our
commitments, policies, and our reporting data are sufficiently
robust to refute that doubt.
We will also, as I said in my letter to shareholders in the Annual
Report, be paying more attention to the S in ESG. Like many
businesses we have to do, and will do, more to embrace diversity
and eliminate discrimination. Our retail customer work is, I can
assure you, conducted by people who feel passionately about the
well-being of those customers, the more so if they are in distress,
financial or otherwise. We don't always get things right, but we
seek to do ever better. At the heart of our response is a project
which we call Mindset. The organisation revealed a capacity for
speed, efficiency, and I hope empathy, in response to the crisis,
that was remarkable. We proved that this capacity is already a part
of our DNA, and that we can make it a part of how we serve
customers, every day.
Please take these few words as a description of where we want to
get to. Perhaps you never completely get there - whether on climate
or diversity and inclusion - there is always more that can be done.
However, I'm convinced that with this leadership team and the great
colleagues around the world that Barclays will continue to do
better for the communities which it serves and that that will
underpin its success and value in the future.
I'll now hand over to Jes.
Chief Executive's 2021 AGM statement
Good morning everyone, and welcome to our Annual General
Meeting.
I am sorry we are once again prevented from meeting in person. I
know you will appreciate that the current circumstances mean a
physical AGM is impossible.
We have nevertheless worked hard to offer up our hybrid format and,
regardless of whether you are joining us in person or digitally,
you should feel confident you can put forward your views and have
them recorded and responded to appropriately.
When we met last year, the COVID-19 pandemic was only just
beginning.
The crisis has caused huge economic harm and uncertainty, and
brought a lot of hardship and stress for millions of people. It has
also brought tragedy to many families, including among friends and
colleagues at Barclays. In common with other companies, it has
tested our resilience as a business and our values as a corporate
citizen.
Hopefully, with vaccination programmes advancing globally, we can
now start to see the beginning of the end of this terrible
pandemic. During the course of this year, I am hopeful we can start
to return to a more normal way of life.
As I reflect on the last year, I remain incredibly proud of the way
Barclays stood tall during the crisis, delivering on the priorities
we set for ourselves at the start of the pandemic.
We have tried to support our customers, clients and communities,
particularly those that were most vulnerable to the impacts of the
virus.
We have supported our employees, recognising the challenges they
faced on both a personal and professional level.
And we have preserved our financial integrity as an institution,
staying profitable in every quarter of 2020 and carrying that
performance into a record first quarter of this year.
I want to take a moment to recognise the work of our colleagues in
particular.
From our branches, to our trading floors, to our call centres,
thousands of Barclays' staff continued to go into the office, while
many thousands more had to adapt quickly to remote working in order
to keep Barclays delivering for its stakeholders.
For those who were unable to work during the pandemic, I am pleased
we were able to pay people in full, as well as offer financial
support for things like childcare and self-quarantine.
Our colleagues were the driving force that enabled us to play our
part in containing the damage that this terrible disease has
caused. Thanks to them, Barclays made a real difference in a lot of
lives at a time when it was sorely needed.
Over the course of the year, we provided over 680,000 payment
holidays to our customers, waived around £100 million in
interest and overdraft fees and committed a further £100
million to charities supporting the most vulnerable through our
Community Aid Package.
That support continues where our help is needed, most recently with
a £1m donation to charity partners in India to buy medical
supplies for communities still facing real hardship
there.
We also helped our clients raise £1.5 trillion in the global
capital markets in the last three quarters of last year, and we
have extended close to £30 billion to British companies
through the UK Government lending schemes. In many cases, that
meant businesses were able to keep working and employing people
throughout the crisis.
Through a difficult year, I am pleased at how resilient our
performance proved.
Our decisions to help vulnerable customers and clients, to protect
jobs for our employees and to build in exceptionally strong
impairment reserves, all meant that our overall profitability in
2020 was lower than we would like. Group profit before tax for the
Full Year was £3.1bn, with a Group Return on Tangible Equity
of 3.2%, including 9.5% for our Corporate and Investment
Bank.
We are now starting to see profitability improve
significantly.
We delivered well beyond our RoTE target of greater than 10% in Q1,
with a Group Return on Tangible Equity of close to 15%. Indeed, all
three of our major lines of business delivered a Return on Tangible
Equity that was greater than 10%, which is a level of profitability
the bank has not had in over a decade.
We also remain focused on costs, applying good discipline over the
course of the year, while still investing in growth. Our 2020 cost
to income ratio was 64%, and was 61% in the first quarter of this
year. We continue to target a Group cost to income ratio of below
60% over time.
We also remain in a strong capital position, with a CET1 ratio of
14.6%. We anticipate some capital headwinds in 2021, but we
nevertheless remain significantly above our CET1 ratio target of
between 13 and 14% and well above our minimum regulatory
requirement, with £8.8bn of provisions set aside for
impairments.
I am pleased that the strength of our business has allowed us to
re-establish capital distributions, with the Board approving a
total payout equivalent to 5p per share in February 2021,
comprising a 1p per share 2020 full year dividend and a £700m
share buyback, which completed in April. We will be providing a
further update on capital distributions in due course.
Over the year, our performance has benefitted significantly from
our business model as a British universal bank. This gives us
balance between consumer banking and wholesale
banking.
Our consumer businesses felt the impact of the pandemic most
acutely, with Barclays UK income down 14% last year and Consumer
Cards and Payments down 22% primarily caused by lower credit card
balances.
At the same time, in our wholesale business, Corporate and
Investment Banking income was up 22%, driven by Markets and Banking
delivering standout income performances, up 45% and 8% respectively
in 2020.
That left Barclays International up 8% overall, stabilising Group
income at a time of stress and helping us deliver resilient
performance through a difficult macroeconomic cycle.
We have carried the benefits of this diversification into the first
quarter of this year. The Corporate and Investment Bank had another
strong quarter, achieving a Return on Tangible Equity of roughly
18%.
Geographically, almost half of our income now comes from outside
the UK, while well over half is non-interest income, continuing to
position us well in the current low rate environment.
This income composition continues to show our British universal
banking model working well.
We remain focused on the sustainable impact of our business, and on
meeting our ambition to be a net zero bank by 2050.
Last month, we were pleased to join other banks in forming the
Glasgow Financial Alliance for Net Zero, ahead of the COP 26
climate summit later this year.
As part of our commitment to aligning all of our financing to the
goals of the Paris Agreement, we announced in November 2020 that we
have started to apply our BlueTrack methodology to the Energy and
Power sectors in our financing portfolio. In March, we announced we
are extending BlueTrack to include two further sub-sectors, Cement
and Metals, and we will continue to add sectors in this way until
our entire portfolio is covered.
We are also actively helping clients with the transition to a low
carbon economy. For example, we have recently advised National Grid
on a series of large transactions that will significantly enhance
their central role in the delivery of the UK's net zero
targets.
As the global economy begins to emerge from the pandemic, I am
optimistic about the trajectory for recovery.
We are seeing some positive signs in our Spend data, drawn from our
UK consumer cards, and from merchant acquiring, which together
tracks nearly 40% of all consumer transactions in the
UK.
In addition to the improving Q1 trend, we saw a 72% uplift in the
number of payments processed by businesses in the first two weeks
of April, compared to the same time last year. Encouragingly,
spending in some of the hardest hit sectors, including hospitality
and travel, is starting to pick up.
As consumer spending increases, we expect there will be growth in
unsecured lending balances, though it will take time to rebuild
interest-earning balances.
Mortgage growth also remains robust, with applications continuing
to stay at elevated levels throughout Q1 and pricing at attractive
margins. We have grown the mortgage book by £3.6bn in the
first quarter, one of the strongest quarters ever.
Looking ahead, I am also optimistic about our prospects to grow our
company, strengthen our existing diversification and deliver more
to shareholders.
We have clear strategic growth priorities.
First, we will continue to invest in our role as a major
participant in the global capital markets that drive the world's
economic growth. These markets are themselves growing as businesses
and institutions increasingly turn to them for funding. Barclays is
now the only British global investment bank with a leading presence
in both the US and UK, competing at scale as many of our European
competitors pull away. We want to build from this position,
increasing our market share in debt and equity
underwriting.
Second, we want to accelerate the geographic roll out of Barclays'
commercial banking expertise, adding to our historic strength in
the UK by targeting expansion in mainland Europe and the US. In
doing so, we will help companies around the world manage their
core financial needs, from liquidity management,
to payments processing, to trade finance.
Third, we will invest in the expansion of our
wealth management business in the UK. Central to this is the
extension of access to our investment platform and advice services
to eligible banking customers. We should be a major provider to
hundreds of thousands more UK consumers as they plan for the
future and invest in more attractive
returning assets.
And finally, we are investing in our consumer banking
and payments businesses. Looking at our business by activity
rather than division, Barclays' income now comes from one of three
sources: Lending; Transacting; and Payments. That third leg,
Payments, now accounts for some 8% of the Group's total income or
£1.7bn last year. Taken as a whole, we believe payments can
generate an additional £900m of income over the next three
years.
We also know there are parts of our business that face long-term
strategic challenges.
Beyond the immediate impacts of the pandemic, UK retail banking
continues to operate in a near-zero interest rate environment, with
lower charges for services and many core banking provisions
available for free. Barclays UK has a strong position in the market
and returning it to sustainable profitability is a
priority.
Specifically, we need to deliver a better, more digital bank
for consumers and small businesses; we need to continue to focus on
running the business efficiently; and we need to increase
our commercial engagement with customers.
But we shouldn't forget that Barclays UK is a business that, in the
relatively benign circumstances of the decade prior to 2020,
regularly produced RoTEs averaging in the high teens. It remains a
very good business, with strong fundamentals, and I expect to see
performance improve markedly as the economy returns to
normal.
So in summary, let me say again how pleased I am with our
performance over the past year.
With a strong balance sheet and competitive market positions across
the Group, as well as encouraging prospects to grow our business
and provide improved returns for shareholders, I believe we are
well-placed for the future.
At the same time, I am proud to be able to say that Barclays did
the right thing throughout the pandemic. This crisis is not over,
but it is my view that we did much to live up to our 330-year
heritage in the way we supported our communities throughout the
pandemic. Now, as the economic recovery takes hold, we have
an opportunity to play our full part in supporting the
recovery.
Thank you.
- ENDS -
For further information, please contact:
|
Investor Relations
|
Media Relations
|
|
Chris
Manners
|
Tom
Hoskin
|
|
+44
(0)20 7773 2136
|
+44
(0)20 7116 4755
|
About Barclays
Barclays is a British universal bank. We are diversified by
business, by different types of customer and client, and
geography. Our businesses include consumer banking and
payments operations around the world, as well as a top-tier, full
service, global corporate and investment bank, all of which are
supported by our service company which provides technology,
operations and functional services across the Group. For
further information about Barclays, please visit our
website home.barclays
Forward-looking statements
This document contains certain forward-looking statements within
the meaning of Section 21E of the US Securities Exchange Act of
1934, as amended, and Section 27A of the US Securities Act of 1933,
as amended, with respect to the Group. Barclays cautions readers
that no forward-looking statement is a guarantee of future
performance and that actual results or other financial condition or
performance measures could differ materially from those contained
in the forward-looking statements. These forward-looking statements
can be identified by the fact that they do not relate only to
historical or current facts. Forward-looking statements sometimes
use words such as 'may', 'will', 'seek', 'continue', 'aim',
'anticipate', 'target', 'projected', 'expect', 'estimate',
'intend', 'plan', 'goal', 'believe', 'achieve' or other words of
similar meaning. Forward-looking statements can be made in writing
but also may be made verbally by members of the management of the
Group (including, without limitation, during management
presentations to financial analysts) in connection with this
document. Examples of forward-looking statements include, among
others, statements or guidance regarding or relating to the Group's
future financial position, income growth, assets, impairment
charges, provisions, business strategy, capital, leverage and other
regulatory ratios, capital distributions (including dividend
pay-out ratios and expected payment strategies), projected levels
of growth in the banking and financial markets, projected costs or
savings, any commitments and targets, estimates of capital
expenditures, plans and objectives for future operations, projected
employee numbers, IFRS impacts and other statements that are not
historical fact. By their nature, forward-looking statements
involve risk and uncertainty because they relate to future events
and circumstances. The forward-looking statements speak only as at
the date on which they are made. Forward-looking statements may be
affected by: changes in legislation; the development of standards
and interpretations under IFRS, including evolving practices with
regard to the interpretation and application of accounting and
regulatory standards; the outcome of current and future legal
proceedings and regulatory investigations; future levels of conduct
provisions; the policies and actions of governmental and regulatory
authorities; the Group's ability along with government and other
stakeholders to manage and mitigate the impacts of climate change
effectively; geopolitical risks; and the impact of competition. In
addition, factors including (but not limited to) the following may
have an effect: capital, leverage and other regulatory rules
applicable to past, current and future periods; UK, US, Eurozone
and global macroeconomic and business conditions; the effects of
any volatility in credit markets; market related risks such as
changes in interest rates and foreign exchange rates; effects of
changes in valuation of credit market exposures; changes in
valuation of issued securities; volatility in capital markets;
changes in credit ratings of any entity within the Group or any
securities issued by such entities; direct and indirect impacts of
the coronavirus (COVID-19) pandemic; instability as a result of the
UK's exit from the European Union (EU), the effects of the EU-UK
Trade and Cooperation Agreement and the disruption that may
subsequently result in the UK and globally; the risk of
cyber-attacks, information or security breaches or technology
failures on the Group's business or operations; and the success of
future acquisitions, disposals and other strategic transactions. A
number of these influences and factors are beyond the Group's
control. As a result, the Group's actual financial position, future
results, capital distributions, capital, leverage or other
regulatory ratios or other financial and non-financial metrics or
performance measures may differ materially from the statements or
guidance set forth in the Group's forward-looking statements.
Additional risks and factors which may impact the Group's future
financial condition and performance are identified in our filings
with the SEC (including, without limitation, our Annual Report on
Form 20-F for the fiscal year ended 31 December 2020), which are
available on the SEC's website at www.sec.gov.
Subject to our obligations under the applicable laws and
regulations of any relevant jurisdiction, (including, without
limitation, the UK and the US), in relation to disclosure and
ongoing information, we undertake no obligation to update publicly
or revise any forward-looking statements, whether as a result of
new information, future events or otherwise.
Exhibit
No. 4
5 May
2021
Barclays PLC
Disclosure of rights attached to equity shares
On 5
May 2021, the shareholders of Barclays PLC approved the adoption of
new Articles of Association (the "New Articles of
Association").
In
compliance with Listing Rule 9.2.6ER(1), the Company has forwarded
to the UK Financial Conduct Authority for publication a copy of the
New Articles of Association, which is the document that sets out
the terms and conditions on which its listed equity shares were
issued.
A copy
of the New Articles of Association has been submitted to the
National Storage Mechanism and will shortly be available for
inspection at
https://data.fca.org.uk/#/nsm/nationalstoragemechanism
.
- ENDS
-
For
further information, please contact:
|
Investor Relations
|
Media Relations
|
|
Chris
Manners
|
Tom
Hoskin
|
|
+44 (0)
20 7773 2136
|
+44 (0)
20 7116 4755
|
About Barclays
Barclays
is a British universal bank. We are diversified by business, by
different types of customer and client, and geography. Our
businesses include consumer banking and payments operations around
the world, as well as a top-tier, full service, global corporate
and investment bank, all of which are supported by our service
company which provides technology, operations and functional
services across the Group. For further information about Barclays,
please visit our website home.barclays.
Exhibit
No. 5
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
|
GB0031348658
|
Issuer Name
|
BARCLAYS PLC
|
UK or Non-UK Issuer
|
UK
|
2. Reason for Notification
|
An acquisition or disposal of voting rights; An acquisition or
disposal of financial instruments
|
3. Details of person subject to the notification
obligation
Name
|
Sherborne Investors Management LP
|
City of registered office (if applicable)
|
New York
|
Country of registered office (if applicable)
|
United States
|
|
Name
|
City
of registered office
|
Country
of registered office
|
|
Sherborne
Investors Management GP, LLC
|
New
York
|
United
States of America
|
|
Stephen
Welker
|
New
York
|
United
States of America
|
|
Edward
Bramson
|
New
York
|
United
States of America
|
4. Details of the shareholder
|
Name
|
City
of registered office
|
Country
of registered office
|
|
Whistle
Investors II LLC c/o Corporation Service Company
|
Wilmington
|
United
States of America
|
|
Whistle
Investors LLC c/o Corporation Service Company
|
Wilmington
|
United
States of America
|
|
SIGC,
LP (Incorporated)
|
St
Peter Port
|
Guernsey
|
5. Date on which the threshold was crossed or reached
|
04-May-2021
|
6. Date on which Issuer notified
|
06-May-2021
|
7. Total positions of person(s) subject to the notification
obligation
|
|
%
of voting rights attached to shares (total of 8.A)
|
%
of voting rights through financial instruments (total of 8.B 1 +
8.B 2)
|
Total
of both in % (8.A + 8.B)
|
Total
number of voting rights held in issuer
|
|
Resulting
situation on the date on which threshold was crossed or
reached
|
0.000000
|
0.000000
|
0.000000
|
0
|
|
Position
of previous notification (if applicable)
|
2.08%
|
3.93%
|
6.01%
|
|
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached
8A. Voting rights attached to shares
|
Class/Type of shares ISIN code(if possible)
|
Number of direct voting rights (DTR5.1)
|
Number of indirect voting rights (DTR5.2.1)
|
% of direct voting rights (DTR5.1)
|
% of indirect voting rights (DTR5.2.1)
|
|
GB0031348658
|
|
0
|
|
0.000000
|
|
Sub
Total 8.A
|
0
|
0.000000%
|
||
8B1. Financial Instruments according to (DTR5.3.1R.(1)
(a))
|
Type of financial instrument
|
Expiration date
|
Exercise/conversion period
|
Number of voting rights that may be acquired if the instrument is
exercised/converted
|
% of voting rights
|
|
Right
to recall lent shares
|
|
|
0
|
0.000000
|
|
Sub
Total 8.B1
|
|
0
|
0.000000%
|
|
8B2. Financial Instruments with similar economic effect according
to (DTR5.3.1R.(1) (b))
|
Type of financial instrument
|
Expiration date
|
Exercise/conversion period
|
Physical or cash settlement
|
Number of voting rights
|
% of voting rights
|
|
|
|
|
|
|
|
|
Sub
Total 8.B2
|
|
|
|
||
9. Information in relation to the person subject to the
notification obligation
|
2.
Full chain of controlled undertakings through which the voting
rights and/or the financial instruments are effectively held
starting with the ultimate controlling natural person or legal
entities (please add additional rows as
necessary)
|
|
Ultimate controlling person
|
Name of controlled undertaking
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
|
Edward
Bramson
|
Sherborne
Investors Management GP, LLC
|
0.000000
|
0.000000
|
0.000000
|
|
Stephen
Welker
|
Sherborne
Investors Management GP, LLC
|
0.000000
|
0.000000
|
0.000000
|
|
Edward
Bramson
|
Sherborne
Investors Management LP
|
0.000000
|
0.000000
|
0.000000
|
|
Stephen
Welker
|
Sherborne
Investors Management LP
|
0.000000
|
0.000000
|
0.000000
|
|
Edward
Bramson
|
Sherborne
Investors Management (Guernsey) LLC
|
0.000000
|
0.000000
|
0.000000
|
|
Stephen
Welker
|
Sherborne
Investors Management (Guernsey) LLC
|
0.000000
|
0.000000
|
0.000000
|
10. In case of proxy voting
Name of the proxy holder
|
|
The number and % of voting rights held
|
|
The date until which the voting rights will be held
11. Additional Information
|
Sherborne
Investors Management LP is an investment adviser registered with
the United States Securities and Exchange Commission under the U.S.
Investment Advisers Act 1940. Sherborne Investors Management
(Guernsey) LLC, as a wholly owned subsidiary of Sherborne Investors
Management LP, is registered and regulated under the U.S.
Investment Advisers Act 1940 as an investment adviser relying on
the registration of its parent, Sherborne Investors Management
LP.
|
12. Date of Completion
|
06-May-2021
|
13. Place Of Completion
|
London
|
Exhibit No.
6
Publication of Information Memorandum
The following information memorandum (the "Information
Memorandum") has been submitted
to the International Securities Market and is available for
viewing:
Information Memorandum dated 7 May 2021 for the Barclays PLC
A$10,000,000,000 Debt Issuance Programme.
Please read the disclaimer below
"Disclaimer - Intended Addressees" before attempting to access this
service, as your right to do so is conditional upon complying with
the requirements set out below.
To view the full document, please paste the following URL into the
address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/1098Y_1-2021-5-10.pdf
A copy of the Information Memorandum has been submitted to the
National Storage Mechanism and will shortly be available for
inspection at: https://data.fca.org.uk/#/nsm/nationalstoragemechanism
For further information, please contact:
Barclays Treasury
1 Churchill Place
Canary Wharf
London E14 5HP
DISCLAIMER - INTENDED ADDRESSEES
IMPORTANT: You must read
the following before continuing: The following applies to the
Information Memorandum available by clicking on the link above, and
you are therefore advised to read this carefully before reading,
accessing or making any other use of the Information Memorandum. In
accessing the Information Memorandum, you agree to be bound by the
following terms and conditions, including any modifications to
them, any time you receive any information from us as a result of
such access.
THE INFORMATION MEMORANDUM MAY NOT BE FORWARDED OR DISTRIBUTED
OTHER THAN AS PROVIDED BELOW AND MAY NOT BE REPRODUCED IN ANY
MANNER WHATSOEVER. THE INFORMATION MEMORANDUM MAY ONLY BE
DISTRIBUTED OUTSIDE THE UNITED STATES TO PERSONS THAT ARE NOT U.S.
PERSONS AS DEFINED IN, AND IN RELIANCE ON, REGULATION S UNDER THE
U.S. SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES
ACT"). ANY FORWARDING,
DISTRIBUTION OR REPRODUCTION OF THE INFORMATION MEMORANDUM IN WHOLE
OR IN PART IS PROHIBITED. FAILURE TO COMPLY WITH THIS NOTICE MAY
RESULT IN A VIOLATION OF THE SECURITIES ACT OR THE APPLICABLE LAWS
OF OTHER JURISDICTIONS.
NOTHING IN THIS ELECTRONIC PUBLICATION CONSTITUTES AN OFFER OF
SECURITIES FOR SALE IN ANY JURISDICTION. ANY DEBT INSTRUMENTS
ISSUED OR TO BE ISSUED PURSUANT TO THE INFORMATION MEMORANDUM HAVE
NOT BEEN, AND WILL NOT BE, REGISTERED UNDER THE SECURITIES ACT OR
THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES OR OTHER
JURISDICTION. ANY DEBT INSTRUMENTS ISSUED OR TO BE ISSUED PURSUANT
TO THE INFORMATION MEMORANDUM MAY NOT BE OFFERED, SOLD, PLEDGED OR
OTHERWISE TRANSFERRED EXCEPT IN AN OFFSHORE TRANSACTION TO A PERSON
THAT IS NOT A U.S. PERSON IN ACCORDANCE WITH RULE 903 OR RULE 904
OF REGULATION S UNDER THE SECURITIES ACT.
Barclays PLC is not a bank or authorised deposit-taking institution
which is authorised under the Banking Act 1959 (Commonwealth of
Australia) ("Australian Banking
Act"). The Debt Instruments are
not obligations of the Australian Government or any other
government and, in particular, are not guaranteed by the
Commonwealth of Australia. Barclays PLC is not supervised by the
Australian Prudential Regulation Authority. An investment in any
Debt Instrument issued by Barclays PLC will not be covered by the
depositor protection provisions in section 13A of the Australian
Banking Act and will not be covered by the Australian Government's
bank deposit guarantee (also commonly referred to as the Financial
Claims Scheme). Debt Instruments that are offered for issue or sale
or transferred in, or into, Australia are offered only in
circumstances that would not require disclosure to investors under
Parts 6D.2 or 7.9 of the Corporations Act 2001 of Australia and
issued and transferred in compliance with the terms of the
exemption from compliance with section 66 of the Australian Banking
Act that is available to Barclays PLC.
Please note that the information contained in the Information
Memorandum may be addressed to and/or targeted at persons who are
residents of particular countries (specified in the Information
Memorandum) only and is not intended for use and should not be
relied upon by any person outside these countries and/or to whom
the offer contained in the Information Memorandum is not addressed.
Prior to relying on the information contained in the Information
Memorandum you must ascertain from the Information Memorandum
whether or not you are part of the intended addressees of the
information contained therein.
Confirmation of your Representation: In order to be eligible to view the
Information Memorandum or make an investment decision with respect
to any Debt Instruments issued or to be issued pursuant
to the Information Memorandum, you must be a person other than a
U.S. person (within the meaning of Regulation S under the
Securities Act). By accessing the Information Memorandum, you shall
be deemed to have represented that you and any customers you
represent are not U.S. persons (as defined in Regulation S to the
Securities Act) and that you consent to delivery of the Information
Memorandum and any supplements thereto via electronic
publication.
You are reminded that the Information Memorandum has been made
available to you on the basis that you are a person into whose
possession the Information Memorandum may be lawfully delivered in
accordance with the laws of the jurisdiction in which you are
located and you may not, nor are you authorised to, deliver the
Information Memorandum to any other person.
The Information Memorandum does not constitute, and may not be used
in connection with, an offer or solicitation in any place where
offers or solicitations are not permitted by law. If a jurisdiction
requires that the offering be made by a licensed broker or dealer
and the underwriters or any affiliate of the underwriters is a
licensed broker or dealer in that jurisdiction, the offering shall
be deemed to be made by the underwriters or such affiliate on
behalf of the issuer in such jurisdiction. Under no circumstances
shall the Information Memorandum constitute an offer to sell, or
the solicitation of an offer to buy, nor shall there be any sale of
any Debt Instruments issued or to be issued pursuant to
the Information Memorandum, in any jurisdiction in which such
offer, solicitation or sale would be unlawful.
The Information Memorandum has been made available to you in an
electronic form. You are reminded that documents transmitted via
this medium may be altered or changed during the process of
electronic transmission and consequently none of the issuer, its
advisers nor any person who controls any of them nor any director,
officer, employee nor agent of it or affiliate of any such person
accepts any liability or responsibility whatsoever in respect of
any difference between the Information Memorandum made available to
you in electronic format and the hard copy version available to you
on request from the issuer.
Your right to access this service is conditional upon complying
with the above requirement.
Exhibit
No. 7
10 May
2021
Notification and public disclosure of transactions by persons
discharging managerial responsibilities and persons closely
associated with them
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
||
|
a)
|
Name
|
Stephen
Dainton
|
|
|
2
|
Reason for the notification
|
||
|
a)
|
Position/status
|
Deputy
Head of Markets
|
|
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
|
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
||
|
a)
|
Name
|
Barclays
PLC
|
|
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
|
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
||
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares with a nominal value of 25 pence each
("Shares")
GB0031348658
|
|
|
b)
|
Nature of the transaction
|
The
trustee of the Barclays Group Share Incentive Plan notified
Barclays PLC that it acquired and now holds Shares on behalf of the
individual described above. The Shares
acquired
include an allocation of Shares as matching shares.
|
|
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
|
£1.778
per Share
|
1,349
|
||
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not
applicable
|
|
|
e)
|
Date of the transaction
|
2021-05-07
|
|
|
f)
|
Place of the transaction
|
London
Stock Exchange (XLON)
|
|
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
||
|
a)
|
Name
|
Taalib
Shaah
|
|
|
2
|
Reason for the notification
|
||
|
a)
|
Position/status
|
Group
Chief Risk Officer
|
|
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
|
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
||
|
a)
|
Name
|
Barclays
PLC
|
|
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
|
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
||
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares with a nominal value of 25 pence each
("Shares")
GB0031348658
|
|
|
b)
|
Nature of the transaction
|
The
trustee of the Barclays Group Share Incentive Plan notified
Barclays PLC that it acquired and now holds Shares on behalf of the
individual described above. The Shares
acquired
include an allocation of Shares as matching shares.
|
|
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares received
|
|
£1.778
per Share
|
674
|
||
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
Not
applicable
|
|
|
e)
|
Date of the transaction
|
2021-05-07
|
|
|
f)
|
Place of the transaction
|
London
Stock Exchange (XLON)
|
|
For further information please contact:
|
Investor
Relations
|
Media
Relations
|
|
Chris Manners
|
Tom Hoskin
|
|
+44 (0)20 7773 2136
|
+44 (0)20 7116 4755
|
Exhibit No. 8
11 May 2021
Notification and public disclosure of transactions by persons
discharging managerial responsibilities and persons closely
associated with them
|
1
|
Details of the person discharging managerial responsibilities /
person closely associated
|
||
|
a)
|
Name
|
Stephen
Dainton
|
|
|
2
|
Reason for the notification
|
||
|
a)
|
Position/status
|
Deputy
Head of Markets
|
|
|
b)
|
Initial notification /Amendment
|
Initial
notification
|
|
|
3
|
Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor
|
||
|
a)
|
Name
|
Barclays
PLC
|
|
|
b)
|
LEI
|
213800LBQA1Y9L22JB70
|
|
|
4
|
Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted
|
||
|
a)
|
Description of the financial instrument, type of
instrument
Identification
code
|
Ordinary
shares in Barclays PLC with a nominal value of 25p each
("Shares")
GB0031348658
|
|
|
b)
|
Nature of the transaction
|
Disposal
of Shares by Solium Capital UK Limited in its capacity as
administrator of the Barclays' nominee service.
|
|
|
c)
|
Price(s) and volume(s)
|
Price(s)
|
Volume(s):
Number of Shares sold
|
|
£1.821
per
Share
|
300,000
|
||
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
N/A
|
|
|
e)
|
Date of the transaction
|
2021-05-11
|
|
|
f)
|
Place of the transaction
|
London
Stock Exchange (XLON)
|
|
For further information please contact:
|
Investor
Relations
|
Media
Relations
|
|
Chris Manners
|
Tom Hoskin
|
|
+ 44 (0)20 7773 2136
|
+44 (0)20 7116 4755
|
Exhibit
No. 9
Publication of Final Terms
The following final terms are available for viewing:
1. Final Terms in relation to Barclays PLC's
issue of EUR 1,250,000,000 1.106 per cent. Fixed Rate Resetting
Senior Callable Notes due May 2032 (the "Final Terms
1"); and
2. Final Terms in relation to Barclays
PLC's issue of EUR 750,000,000 Floating Rate Senior Callable Notes
due May 2026 (the "Final Terms
2") (together the
"Final
Terms"),each
issued under the Barclays PLC £60,000,000,000 Debt Issuance
Programme.
Please read the disclaimer below "Disclaimer - Intended
Addressees" before attempting
to access this service, as your right to do so is conditional upon
complying with the requirements set out below.
To view Final Terms 1, please paste the following URL into the
address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/5835Y_1-2021-5-13.pdf
To view Final Terms 2, please paste the following URL into the
address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/5835Y_2-2021-5-13.pdf
Copies of the above documents have been submitted to the National
Storage Mechanism and will shortly be available for inspection
at: https://data.fca.org.uk/#/nsm/nationalstoragemechanism
For further information, please contact:
Barclays Treasury
1 Churchill Place
Canary Wharf
London E14 5HP
DISCLAIMER - INTENDED ADDRESSEES
IMPORTANT: You must read the following
before continuing: The
following applies to the Final Terms available by clicking on the
links above, and you are therefore advised to read this carefully
before reading, accessing or making any other use of the Final
Terms. In accessing the Final Terms, you agree to be bound by the
following terms and conditions, including any modifications to
them, any time you receive any information from us as a result of
such access.
The Final Terms referred to above must be read in conjunction with
the base prospectus dated 11 March 2021 (as supplemented by the
prospectus supplement dated 4 May 2021) which together constitute a
base prospectus (the "Prospectus") for the purposes of Regulation (EU) 2017/1129,
as amended or superseded.
THE FINAL TERMS MAY NOT BE FORWARDED OR DISTRIBUTED OTHER THAN AS
PROVIDED BELOW AND MAY NOT BE REPRODUCED IN ANY MANNER WHATSOEVER.
THE FINAL TERMS MAY ONLY BE DISTRIBUTED OUTSIDE THE UNITED STATES
TO PERSONS THAT ARE NOT U.S. PERSONS AS DEFINED IN, AND IN RELIANCE
ON, REGULATION S UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED
(THE "SECURITIES
ACT"). ANY FORWARDING,
DISTRIBUTION OR REPRODUCTION OF THE FINAL TERMS IN WHOLE OR IN PART
IS PROHIBITED. FAILURE TO COMPLY WITH THIS NOTICE MAY RESULT IN A
VIOLATION OF THE SECURITIES ACT OR THE APPLICABLE LAWS OF OTHER
JURISDICTIONS.
NOTHING IN THIS ELECTRONIC PUBLICATION CONSTITUTES AN OFFER OF
SECURITIES FOR SALE IN ANY JURISDICTION. ANY NOTES ISSUED OR TO BE
ISSUED PURSUANT TO THE FINAL TERMS AND THE PROSPECTUS HAVE NOT
BEEN, AND WILL NOT BE, REGISTERED UNDER THE SECURITIES ACT OR THE
SECURITIES LAWS OF ANY STATE OF THE UNITED STATES OR OTHER
JURISDICTION. ANY NOTES ISSUED OR TO BE ISSUED PURSUANT TO THE
FINAL TERMS AND THE PROSPECTUS MAY NOT BE OFFERED, SOLD, PLEDGED OR
OTHERWISE TRANSFERRED EXCEPT IN AN OFFSHORE TRANSACTION TO A PERSON
THAT IS NOT A U.S. PERSON IN ACCORDANCE WITH RULE 903 OR RULE 904
OF REGULATION S UNDER THE SECURITIES ACT.
Please note that the information contained in the Final Terms and
the Prospectus referred to above may be addressed to and/or
targeted at persons who are residents of particular countries
(specified in the Final Terms and/or the Prospectus) only and is
not intended for use and should not be relied upon by any person
outside these countries and/or to whom the offer contained in the
Final Terms and/or the Prospectus is not
addressed. Prior to relying on the
information contained in the Final Terms and/or the Prospectus you
must ascertain from the Final Terms and the Prospectus whether or
not you are part of the intended addressees of the information
contained therein.
Confirmation of your Representation: In order to be eligible to view the Final Terms
or make an investment decision with respect to any Notes issued or
to be issued pursuant to the Final Terms, you must be a person
other than a U.S. person (within the meaning of Regulation S under
the Securities Act). By accessing the Final Terms, you shall be
deemed to have represented that you and any customers you represent
are not U.S. persons, and that you consent to delivery of the Final
Terms via electronic publication.
You are reminded that the Final Terms have been made available to
you on the basis that you are a person into whose possession the
Final Terms may be lawfully delivered in accordance with the laws
of the jurisdiction in which you are located and you may not, nor
are you authorised to, deliver the Final Terms to any other
person.
The Final Terms do not constitute, and may not be used in
connection with, an offer or solicitation in any place where offers
or solicitations are not permitted by law. If a jurisdiction
requires that the offering be made by a licensed broker or dealer
and the underwriters or any affiliate of the underwriters is a
licensed broker or dealer in that jurisdiction, the offering shall
be deemed to be made by the underwriters or such affiliate on
behalf of the issuer in such jurisdiction. Under no
circumstances shall the Final Terms constitute an offer
to sell, or the solicitation of an offer to buy, nor shall there be
any sale of any Notes issued or to be issued pursuant to the
Final Terms, in any jurisdiction in which such offer,
solicitation or sale would be unlawful.
The Final Terms have been made available to you in an electronic
form. You are reminded that documents transmitted via this medium
may be altered or changed during the process of electronic
transmission and consequently none of the issuer, its advisers nor
any person who controls any of them nor any director, officer,
employee nor agent of it or affiliate of any such person accepts
any liability or responsibility whatsoever in respect of any
difference between the Final Terms made available to you in
electronic format and the hard copy version available to you on
request from the issuer.
Your right to access this service is conditional upon complying
with the above requirement.
Exhibit
No. 10
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
|
GB0031348658
|
Issuer Name
|
BARCLAYS PLC
|
UK or Non-UK Issuer
|
UK
|
2. Reason for Notification
|
An acquisition or disposal of voting rights
|
3. Details of person subject to the notification
obligation
Name
|
Norges Bank
|
City of registered office (if applicable)
|
Oslo
|
Country of registered office (if applicable)
|
Norway
|
4. Details of the shareholder
Full name of shareholder(s) if different from the person(s) subject
to the notification obligation, above
|
|
City of registered office (if applicable)
|
|
Country of registered office (if applicable)
|
|
5. Date on which the threshold was crossed or reached
|
14-May-2021
|
6. Date on which Issuer notified
|
17-May-2021
|
7. Total positions of person(s) subject to the notification
obligation
|
|
%
of voting rights attached to shares (total of 8.A)
|
%
of voting rights through financial instruments (total of 8.B 1 +
8.B 2)
|
Total
of both in % (8.A + 8.B)
|
Total
number of voting rights held in issuer
|
|
Resulting
situation on the date on which threshold was crossed or
reached
|
2.998400
|
0.000000
|
2.998400
|
507831628
|
|
Position
of previous notification (if applicable)
|
3.004
|
0.000000
|
3.004
|
521031852
|
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached
8A. Voting rights attached to shares
|
Class/Type of shares ISIN code(if possible)
|
Number of direct voting rights (DTR5.1)
|
Number of indirect voting rights (DTR5.2.1)
|
% of direct voting rights (DTR5.1)
|
% of indirect voting rights (DTR5.2.1)
|
|
GB0031348658
|
507831628
|
|
2.998400
|
|
|
Sub
Total 8.A
|
507831628
|
2.998400%
|
||
8B1. Financial Instruments according to (DTR5.3.1R.(1)
(a))
|
Type of financial instrument
|
Expiration date
|
Exercise/conversion period
|
Number of voting rights that may be acquired if the instrument is
exercised/converted
|
% of voting rights
|
|
|
|
|
|
|
|
Sub
Total 8.B1
|
|
|
|
|
8B2. Financial Instruments with similar economic effect according
to (DTR5.3.1R.(1) (b))
|
Type of financial instrument
|
Expiration date
|
Exercise/conversion period
|
Physical or cash settlement
|
Number of voting rights
|
% of voting rights
|
|
|
|
|
|
|
|
|
Sub
Total 8.B2
|
|
|
|
||
9. Information in relation to the person subject to the
notification obligation
|
1.
Person subject to the notification obligation is not controlled by
any natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer.
|
|
Ultimate controlling person
|
Name of controlled undertaking
|
% of voting rights if it equals or is higher than the notifiable
threshold
|
% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
|
Total of both if it equals or is higher than the notifiable
threshold
|
|
|
|
|
|
|
10. In case of proxy voting
Name of the proxy holder
|
|
The number and % of voting rights held
|
|
The date until which the voting rights will be held
|
|
11. Additional Information
|
|
12. Date of Completion
|
17 May 2021
|
13. Place Of Completion
|
Oslo,
Norway
|
Exhibit
No. 11
Publication of Pricing Supplements
The following pricing supplements are available for
viewing:
1. Pricing Supplement in relation to
Barclays PLC's issue of A$150,000,000 2.064 per cent.
Fixed-to-Floating Rate Debt Instruments due May 2027 (the
"Pricing
Supplement 1");
2. Pricing Supplement in relation to
Barclays PLC's issue of A$250,000,000 Floating Rate Debt
Instruments due May 2027 (the "Pricing Supplement
2"); and
3. Pricing Supplement in relation to
Barclays PLC's issue of A$200,000,000 3.382 per cent.
Fixed-to-Floating Rate Debt Instruments due May 2032 (the
"Pricing
Supplement 3") (together the
"Pricing
Supplements"),
each issued under the Barclays PLC A$10,000,000,000 Debt Issuance
Programme.
Please read the disclaimer below "Disclaimer - Intended
Addressees" before attempting
to access this service, as your right to do so is conditional upon
complying with the requirements set out below.
To view Pricing Supplement 1, please paste the following URL into
the address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/4841Z_1-2021-5-21.pdf
To view Pricing Supplement 2, please paste the following URL into
the address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/4841Z_2-2021-5-21.pdf
To view Pricing Supplement 3, please paste the following URL into
the address bar of your browser.
http://www.rns-pdf.londonstockexchange.com/rns/4841Z_3-2021-5-21.pdf
Copies of the above documents have been submitted to the National
Storage Mechanism and will shortly be available for inspection
at: https://data.fca.org.uk/#/nsm/nationalstoragemechanism
For further information, please contact:
Barclays Treasury
1 Churchill Place
Canary Wharf
London E14 5HP
DISCLAIMER - INTENDED ADDRESSEES
IMPORTANT: You must read the following
before continuing: The
following applies to the Pricing Supplements available by clicking
on the links above, and you are therefore advised to read this
carefully before reading, accessing or making any other use of the
Pricing Supplements. In accessing the Pricing Supplements, you
agree to be bound by the following terms and conditions, including
any modifications to them, any time you receive any information
from us as a result of such access.
The Pricing Supplements referred to above must be read in
conjunction with the information memorandum dated 7 May 2021 (the
"IM").
THE PRICING SUPPLEMENTS MAY NOT BE FORWARDED OR DISTRIBUTED OTHER
THAN AS PROVIDED BELOW AND MAY NOT BE REPRODUCED IN ANY MANNER
WHATSOEVER. THE PRICING SUPPLEMENTS MAY ONLY BE DISTRIBUTED OUTSIDE
THE UNITED STATES TO PERSONS THAT ARE NOT U.S. PERSONS AS DEFINED
IN, AND IN RELIANCE ON, REGULATION S UNDER THE U.S. SECURITIES ACT
OF 1933, AS AMENDED (THE "SECURITIES
ACT"). ANY FORWARDING,
DISTRIBUTION OR REPRODUCTION OF THE PRICING SUPPLEMENTS IN WHOLE OR
IN PART IS PROHIBITED. FAILURE TO COMPLY WITH THIS NOTICE MAY
RESULT IN A VIOLATION OF THE SECURITIES ACT OR THE APPLICABLE LAWS
OF OTHER JURISDICTIONS.
NOTHING IN THIS ELECTRONIC PUBLICATION CONSTITUTES AN OFFER OF
SECURITIES FOR SALE IN ANY JURISDICTION. ANY DEBT INSTRUMENTS
ISSUED OR TO BE ISSUED PURSUANT TO THE PRICING SUPPLEMENTS AND THE
IM HAVE NOT BEEN, AND WILL NOT BE, REGISTERED UNDER THE SECURITIES
ACT OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES OR
OTHER JURISDICTION. ANY DEBT INSTRUMENTS ISSUED OR TO BE ISSUED
PURSUANT TO THE PRICING SUPPLEMENTS AND THE IM MAY NOT BE OFFERED,
SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN AN OFFSHORE
TRANSACTION TO A PERSON THAT IS NOT A U.S. PERSON IN ACCORDANCE
WITH RULE 903 OR RULE 904 OF REGULATION S UNDER THE SECURITIES
ACT.
Barclays PLC is not a bank or authorised deposit-taking institution
which is authorised under the Banking Act 1959 (Commonwealth of
Australia) ("Australian Banking
Act"). The Debt Instruments are
not obligations of the Australian Government or any other
government and, in particular, are not guaranteed by the
Commonwealth of Australia. Barclays PLC is not supervised by the
Australian Prudential Regulation Authority. An investment in any
Debt Instrument issued by Barclays PLC will not be covered by the
depositor protection provisions in section 13A of the Australian
Banking Act and will not be covered by the Australian Government's
bank deposit guarantee (also commonly referred to as the Financial
Claims Scheme). Debt Instruments that are offered for issue or sale
or transferred in, or into, Australia are offered only in
circumstances that would not require disclosure to investors under
Parts 6D.2 or 7.9 of the Corporations Act 2001 of Australia and
issued and transferred in compliance with the terms of the
exemption from compliance with section 66 of the Australian Banking
Act that is available to Barclays PLC.
Please note that the information contained in the Pricing
Supplements and the IM referred to above may be addressed to and/or
targeted at persons who are residents of particular countries
(specified in the Pricing Supplements and/or the IM) only and is
not intended for use and should not be relied upon by any person
outside these countries and/or to whom the offer contained in the
Pricing Supplements and/or the IM is not
addressed. Prior to relying on the
information contained in the Pricing Supplements and/or the
IM you must ascertain from the Pricing Supplements and the IM
whether or not you are part of the intended addressees of the
information contained therein.
Confirmation of your Representation: In order to be eligible to view the Pricing
Supplements or make an investment decision with respect to any Debt
Instruments issued or to be issued pursuant to the Pricing
Supplements, you must be a person other than a U.S. person (within
the meaning of Regulation S under the Securities Act). By accessing
the Pricing Supplements, you shall be deemed to have represented
that you and any customers you represent are not U.S. persons, and
that you consent to delivery of the Pricing Supplements via
electronic publication.
You are reminded that the Pricing Supplements have been made
available to you on the basis that you are a person into whose
possession the Pricing Supplements may be lawfully delivered in
accordance with the laws of the jurisdiction in which you are
located and you may not, nor are you authorised to, deliver the
Pricing Supplements to any other person.
The Pricing Supplements do not constitute, and may not be used in
connection with, an offer or solicitation in any place where offers
or solicitations are not permitted by law. If a jurisdiction
requires that the offering be made by a licensed broker or dealer
and the underwriters or any affiliate of the underwriters is a
licensed broker or dealer in that jurisdiction, the offering shall
be deemed to be made by the underwriters or such affiliate on
behalf of the issuer in such jurisdiction. Under no
circumstances shall the Pricing Supplements constitute an
offer to sell, or the solicitation of an offer to buy, nor shall
there be any sale of any Debt Instruments issued or to be
issued pursuant to the Pricing Supplements, in any
jurisdiction in which such offer, solicitation or sale would be
unlawful.
The Pricing Supplements have been made available to you in an
electronic form. You are reminded that documents transmitted via
this medium may be altered or changed during the process of
electronic transmission and consequently none of the issuer, its
advisers nor any person who controls any of them nor any director,
officer, employee nor agent of it or affiliate of any such person
accepts any liability or responsibility whatsoever in respect of
any difference between the Pricing Supplements made available to
you in electronic format and the hard copy versions available to
you on request from the issuer.
Your right to access this service is conditional upon complying
with the above requirement.